Whole Section

  • 13.5 Arrangement with Customers

    • 13.5.1

      A Trading Member or its Trading Representative must not:—

      (1) accept a share in the profits of a customer's account carried on the books of the Trading Member or have any arrangement with a customer to share in the profits of that account;
      (2) have any arrangement with a third party to allocate profits or losses to a customer's account carried on the books of the Trading Member; or
      (3) lead a customer to believe that the customer will not suffer loss as a result of opening an account or dealings.

      Amended on 1 July 20161 July 2016.